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Hargreave Hale

Hargreave Hale is responsible for custody and administration of our Structured Investment Products, including the processing of your clients’ Application and investment monies.

The origins of Hargreave Hale can be traced back to 1897. Today the company is a national provider of stockbroking, investment management and fund management services to private investors, trusts, companies and charities. Its services are primarily used by Mariana for the client cash, asset custody and administration services required for its business aimed at the UK market.

The company is respected for its research on small cap companies listed in the Alternative Investment Market (AIM) and is investment adviser to seven funds in the Marlborough Fund Managers Ltd stable as well as managing two Venture Capital Trusts (VCT). It has a number of offices in the UK and is headquartered in Blackpool.

Copies of Hargreave Hale’s most recent audited accounts are available on request. Hargreave Hale is authorised and regulated by the UK’s Financial Conduct Authority. FCA registration number: 209741. It is incorporated in England and Wales, Company No. 03146580.

The company is a member of The Wealth Management Association ( and is a member of the London Stock Exchange. It is approved by HM Revenue and Customs as an ISA Manager.

Hargreave Hale Limited
Talisman House
Boardmans Way
Whitehills Business Park
Blackpool FY4 5FY

Phone: +44 (0) 1253 754 700

Fax: 0844 5834761

Email: [email protected]




The following pages refer to Mariana investment products. It is important that you read and understand the risk statements below before you proceed.

Mariana’s investment products may provide both individual and institutional investors with flexible and innovative investment solutions offering varying levels of risk, asset exposure, capital protection and tax exposure.

It is important, however, that you understand the risks attached to your investments. The key risk factors are summarised below, but please remember that these are general risks and the risks that are relevant to individual products are set out in the brochure for that product.

Mariana does not provide investment advice in relation to investment products and we strongly recommend that you discuss any proposed investment with your financial adviser before you invest.

Investment in a Mariana product should form part only of your investment portfolio. You should also maintain savings you can access at short notice in case of emergency to meet any short term cash needs that may arise during the term of your investment.

Investment Risk – This is the risk arising from the market(s) or asset(s) into which your investment is made or to which the performance of your investment is linked. Their value might decrease, which could cause you to lose money or, if they increase, the amount of the increase may be greater than the return you get from your investment in a Mariana product.

Counterparty Risk – This is the risk that the financial institution by whom your investment is backed gets into financial difficulties and does not, or cannot, pay the amounts due in relation to your investment. This could cause you to lose some or all of your money and any investment returns that would have otherwise been payable.

Term Risk – This is the risk that an investor’s circumstances could change, forcing the early encashment of an investment. Such early encashment will be subject to a fee and the amount repaid is likely to be less than the initial capital invested. An investor should be aware that they may not be able to access the value of their investment immediately.

Inflation Risk – This is the risk that inflation may reduce the real value of your investment over time.

Tax Risk – The values of any tax reliefs generated by your investment will depend on your individual circumstances. You should note that the levels and bases of taxation and reliefs available may change in the future and changes may be applied retrospectively.

ISA Transfer Risk – if you wish to transfer an existing ISA, it must be done in cash. This means that your existing ISA manager will sell your investment and you are likely to be charged an exit fee. There is then the possibility of a loss of income or growth if markets should rise while your transfer is being processed.

Cancellation Risk – This is the risk that if you decide to cancel the investment after it has been purchased you are likely to lose some of your money.

It is important that you read all the related Mariana product literature carefully and in full so that you understand how the product works and can decide whether or not you are prepared to accept the risks and the possible consequences of investing in a particular product, before proceeding with your investment.

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